Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlotte? Claim Your ProfileCharlotte Yiu wai Lee is a registered investment advisor with Wells Fargo Clearing Services, LLC, and has been in the financial services industry since 2006. Charlotte has a strong background in the investment industry, having worked with several firms prior to Wells Fargo Clearing Services, LLC. Her experience includes roles at Carillon Investments, Inc., NI Advisors, and Wells Fargo Investments, LLC. She holds Series 66, Series 7, and SIE licenses, and is currently registered in 14 states and two states for Investment Advisory. Charlotte specializes in providing investment advice to individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
01/04/2019 - Present
Wells Fargo Clearing Services, LLC (FOSTER CITY CA)
CA
02/18/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (FOSTER CITY CA)
CA
10/13/2006 - 02/25/2009
NI ADVISORS (FOSTER CITY CA)
CA
09/08/2005 - 05/04/2006
CARILLON INVESTMENTS, INC. (SAN FRANCISCO CA)
BOTH
Issued 08/05/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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